Investment Operations Director - In-force Advisory Operations



Remote · United States
Posted on Saturday, November 11, 2023

Investment Operations Director - In-force Advisory Operations

Remote - US Investment Management Job ID R14585

Investment Operations Director

Fulltime, Hybrid/Remote

The Opportunity

We are growing, and our clients deserve the best. As an Investment Operations Director you will oversee a team of Investment Specialists, Consultants, Principals and be part of a highly structured, fast paced team-oriented environment focused on providing quality service and maintaining compliance standards. In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We also highly value strong communication skills, a passion for learning, leadership traits, resilience, and self-awareness.

The Team:

The team is comprised of 20+ team members. Their roles vary from leads who support the director in driving the team, principal roles which are licensed individuals responsible for more complex functions and analysts (“processors)” who support the processing of daily end client transactions. The team has direct interaction with our advisors, their support staff, compliance, legal, operational partners and external vendors such as National Financial Services. They are collaborative and motivated to do what is best and right for the firm, our advisors, their clients as well as for each other. The team dynamic is unique in that we have members who have grown in role as the broker dealer has grown as well as members who bring an outside perspective or are fairly new to the financial services industry.

The Impact

The Investment Operations Director is expected to have a strong business acumen in the securities and wealth management space to ensure the team is prepared and educated to support strategic initiatives such as the rollout of new product offerings. The Director and by extension the team is accountable for ensuring processing service levels are consistently maintained.

The ideal candidate for this role must demonstrate daily agility and ability to learn, adapt, implement continuous improvement in support of changing regulatory and competitive landscapes. Communication and leading others are key in this role. Collaborating with the team to communicate and establish clear goals, provide feedback, developmental opportunities and do so in a manner that is inclusive. Support strategic vision and growth trajectory of the broker dealer by providing transparent communication, working with the team to ensure readiness, identifying opportunities to improve ease of doing business.

Key Responsibilities Include:

  • Manage multiple and highly complex functions, which include employees performing investment-related operational, transactional, service and/or review, work in support of business operations.

  • Develop and manage the achievement of business objectives for assigned area(s).

  • Participate as member of the organizations management team contributing to the development of strategies and business goals and measures.

  • Contribute to the development of financial and resource plans and manage own budget.

  • Oversee daily operation of department.

  • Direct staff in the development and implementation of departmental policies, procedures and programs.

  • Ensure adherence to company policy and governmental regulations.

  • Manage departmental structure, employee development, training and planning.

The Minimum Qualifications

  • High School Diploma

  • Series 7 and Series 24 required at time of application

  • 5+ years’ Financial Services / Investments experience

  • 1+ years’ experience in a people leader role, manager or team lead function

The Ideal Qualifications

  • 7+ years’ experience providing customer service in the financial services industry

  • 3+ years people leadership experience

  • Series 4 and 53 preferred

  • Experience managing teams through change

  • Strong communication skills, both verbal and written

  • Ability to work independently, balancing priorities and adjusting throughout the day

  • Experience developing associates at all levels of experience.

  • Proven experience driving continuous process improvements and increasing operational efficiencies

  • Strong analytical/problem solving skill solving

  • Strong written, verbal, and interpersonal communication skills

  • Organization navigation skills

  • Continuous improvement mindset

Location: Candidates residing within 50 miles of MassMutual office will be expected to work a Hybrid schedule of 3 days a week in the office.

What to Expect as Part of MassMutual and the Team

  • Regular meetings with the MMLIS In-Force Operations Team

  • Focused one-on-one meetings with your manager

  • Access to mentorship opportunities

  • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran, and disability-focused Business Resource Groups

  • Access to learning content on Degreed and other informational platforms

  • Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits



    MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.

    If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
    Salary Range: $84,100.00-$110,300.00 Apply